P1: Audit 101

Urton Anderson, CCEP, Chair, Department of Accounting, McCombs School of Business, University of Texas at Austin

no handout available

• The role of auditing and monitoring in organizational governance and compliance
• Auditing and the levels of control
• The seven basic tools of auditing
• Developing effective audit plans and strategies
• Providing effective assurance

P2: 501 Ideas for Your Compliance & Ethics Program: Compliance Officer & Infrastructure

Joseph E. Murphy, JD, CCEP, Co-Founder Integrity Interactive, Co-Editor, ethikos

no handout available

• Give people new ideas on how to empower the compliance officer and other compliance professionals
  
• Stimulate people to network with peers and come up with their own ideas
  
• Explain why the compliance officer needs to be empowered
  

P3: Integrating Ethics Into Compliance Programs

Larry Plutko, Systemwide Compliance Officer, The University of Texas System

handout

• Why are compliance officers being called upon to give due consideration to ethics in compliance programs?
  
• How does one explain and utilize a practical framework for dealing with organizational ethics issues?
  
• What role does the compliance officer play in enhancing organizational integrity through effective compliance and ethics leadership?

P4: Risk Assessments

Robert F. Roach, CCEP, University Compliance Officer, New York University

handout

Conducting the Compliance Risk Analysis:

• Understanding internal controls and risk management theory—COSO basics
  
• Conducting the compliance risk analysis using COSO
  
• Using risk management to set annual compliance priorities